Legal and regulatory

Pennine Kennedy Limited is registered in England and Wales with number 07786107 and is authorised and regulated by the Solicitors Regulation Authority (SRA ID 646145). Its registered office and principal place of business are at 450 Barlow Moor Road, Chorlton, Manchester, M21 0BQ. The firm’s VAT number is: 293 6921 65.

The word “partner” is used to refer to members and certain consultants of Pennine Kennedy Limited. A list of members, all of whom are solicitors of England and Wales, is open for inspection at the above address.

By accessing and continuing to use this website you agree and acknowledge that you do so upon these terms. In these terms, references to “Pennine Kennedy Solicitors”, “the firm”, “we”, “us”, “our” and “ours” means Pennine Kennedy Limited.

Reliance

The legal commentary and information contained on this website are for illustrative purposes. Their provision does not create a business or professional services relationship. They are not exhaustive and do not attempt to address every issue relevant to any particular situation and therefore specific advice should be obtained from us before acting upon them.

Furthermore, laws and regulations vary with jurisdiction and time. Compliance will always depend upon particular circumstances. Published material is correct as at the date of first publication but is not updated. This material should not be taken as providing legal advice and should not be acted on or relied upon as doing so. Any reliance on the information is therefore solely at the user’s own risk.

Investment activity

The firm is not authorised under the Financial Services and Markets Act 2000, but we are able in certain circumstances to offer a limited range of investment services to clients because we are authorised and regulated by the Solicitors Regulation Authority. We can provide these investment services if they are an incidental part of the professional services we have been engaged to provide.

Links

This website contains links to servers maintained by other organisations. Pennine Kennedy excludes all liability for the content of any third party website which links to its website.

Intellectual property

All trade marks referred to on this website are the properties of their respective owners. “Pennine Kennedy” is a registered trade mark.

Unless otherwise stated, all rights in any content which appears on this website (including, without limitation, the publications displayed on the website, the screen displays, the text, graphics, and look and feel of the website) belong to Pennine Kennedy or our licensors.

Unless specifically prohibited by a notice published on any page, you may download, temporarily store and/or print a copy of one or more pages of the website for the purposes of viewing them, provided that any copy is unamended and complete and has attached to it the relevant proprietary notices and terms and conditions and it is for use only within your organisation. You may also re-copy downloaded extracts to others on an occasional basis provided that you do not do so for profit.

Any other storage, copying or use of any of the contents of this website is prohibited without Pennine Kennedy’ consent.

Professional indemnity insurance

We maintain compulsory professional indemnity insurance with Pen Underwriting of The Walbrook Building, 25 Walbrook, London EC4N 8AW under policy number P/PIA/11080/20/SRA. This insurance covers all of our practice which is carried on from offices in England.

Anti financial crime

The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 require independent legal professionals to verify the identity of all their clients and, where the client is an entity, to identify, and in some cases to verify, the natural person/s who is/are its ultimate beneficial owner/s. This means we may ask a client (or persons or organisations who instruct us on a client’s behalf) for passport and other identification documents and about our client’s wealth and source of funds.

We may also obtain relevant information from external organisations, including credit reference agencies, who may keep a record of the search. Where our client is an entity (or where a person or organisation instructs us on behalf of an entity which is our client) we may ask for a structure chart and for confirmation of who the natural person/s is/are who ultimately beneficially own more than 25 per cent of our client. We will seek this information at the outset of our business relationships, although we may need to update it during the course of our ongoing business relationships.

We may either decline or not be permitted to proceed to act or to handle funds until our client due diligence checks are complete. Where we instruct other professionals, such as counsel or overseas law firms, on a client’s behalf, we may provide the other professional with copies of our client due diligence, unless specifically instructed not to.

Slavery and human trafficking statement

Pennine Kennedy Solicitors is authorised and regulated by the SRA. The firm has a broad range of clients. We take account of the impact of our business on the societies and jurisdictions in which our clients operate, including via our Corporate Social Responsibility strategy and a holistic commitment to advising ethically and with integrity.

The firm’s suppliers are principally UK based and support the firm’s IT, Finance, Risk, HR, Business and Know How systems and its real estate and office infrastructure. We keep relationships with suppliers under close review and continually evaluate any risks related to modern slavery and human trafficking that may arise in relation to them. The firm has a Slavery and Human Trafficking Policy which reflects our zero tolerance approach to modern slavery and human trafficking in our organisation and supply chain and mandates a risk based assessment of all supplier arrangements for slavery and human trafficking risk. It requires reporting to the COLP and/ or the Managing Partner of any indication that slavery and human trafficking is taking place in the firm’s business or its supply chain.

We comply with relevant UK employment legislation and a commitment to the health and wellbeing of all our personnel is a core component of our HR procedures. We also operate a Whistleblowing Policy.

Our tax strategy

The following tax strategy summarises our approach to the management of our tax affairs

Our tax affairs and the implementation of appropriate tax policies and controls are under the day-to-day management of the CEO, who is supported in this by the Accounts department.

Those policies and controls are periodically reviewed in order to ensure that they remain appropriate and are being complied with.

When taking decisions concerning tax matters and, in particular, where the law is complex or uncertain, we will consult with suitable external advisors.

Any tax position that we adopt will be in line with the genuine commercial and economic activities of the business and, where an issue is complex or uncertain, will be supported by appropriate advice. In managing the costs of our business, we will take advantage of available tax reliefs and incentives, but will do so only for the purposes for which they were intended.

We evaluate and manage tax risks to ensure compliance with all relevant laws and consistent with our commitment to being a responsible business. We will consider transactions on a case-by-case basis and, where uncertainty exists or the position is complex, we will seek appropriate advice. We work to comply fully with the spirit and letter of all applicable tax laws and regulations at all times.

We are committed to maintaining an open and transparent relationship with HMRC, to conducting our tax affairs with integrity and to engaging with HRMC in a responsible, cooperative, and professional manner. We recognize that there can be areas of differing legal interpretations between us and HMRC and, where this occurs, we will seek to engage in proactive discussions with HMRC in order to bring matters to an appropriate resolution.

We regard the publication of this policy as complying with the duty to publish a UK tax strategy pursuant to Schedule 19 of the Finance Act 2016.

General

You are entitled to complain, including in relation to our bills, by way of the firm’s Complaints Procedure. At the conclusion of our complaints process you may be entitled to complain to the Legal Ombudsman (provided within six months of receipt of our written response to your complaint). You can contact the Legal Ombudsman by email at enquiries@legalombudsman.org.uk, by post at PO Box 15870, Birmingham, B30 9EB or by telephone on 0121 245 3050.

You may also have a right to object to the bill by applying to the court for an assessment of the bill under Part III of the Solicitors Act 1974. If you apply for an assessment, the Legal Ombudsman may not deal with your complaint.

If all or part of our bill remains unpaid, we may be entitled to charge interest.

How to complain

We want to give you the best possible service. However, if at any point you become unhappy or concerned about the service, we have provided then you should inform us immediately, so that we can do our best to resolve the problem.

In the first instance it may be helpful to contact the person who is working on your case to discuss your concerns and we will do our best to resolve any issues at this stage.
If you would like to make a formal complaint, then you should contact, Mr. Richard Cooper, at richard.cooper@penninekennedy.co.uk.

You can read our full complaints procedure (see below).

Making a complaint will not affect how we handle your case.

The Solicitors Regulation Authority can help you if you are concerned about our behaviour. This could be for things like dishonesty, taking or losing your money or treating you unfairly because of your age, a disability or other characteristic. You can raise your concerns with the Solicitors Regulation Authority.

What do to if we cannot resolve your complaint

The Legal Ombudsman can help you if we are unable to resolve your complaint ourselves. They will look at your complaint independently and it will not affect how we handle your case.

Before accepting a complaint for investigation, the Legal Ombudsman will check that you have tried to resolve your complaint with us first. If you have, then you must take your complaint to the Legal Ombudsman:
• Within six months of receiving a final response to your complaint
and
• No more than six years from the date of act/omission; or
• No more than three years from when you should reasonably have known there was cause for complaint.
If you would like more information about the Legal Ombudsman, please contact them.

Contact details

Visit: www.legalombudsman.org.uk
Call: 0300 555 0333 between 9am to 5pm.
Email: enquiries@legalombudsman.org.uk
Legal Ombudsman PO Box 6806, Wolverhampton, WV1 9WJ

PENNINE KENNEDY SOLICITORS
COMPLAINTS PROCEDURE

We want to give you the best possible service. However, if at any point you become unhappy or concerned about the service we have provided then you should inform us immediately, so that we can do our best to resolve the problem. We deal with any complaints promptly, fairly, and free of charge.

Our complaints procedure

In the first instance it may be helpful to contact the person who is working on your case to discuss your concerns and we will do our best to resolve any issues at this stage. If you remain unsatisfied, please contact Mr Richard Cooper, who is the firm’s CEO. Making a complaint will not affect how we handle your case.

What will happen next?

1. We will send you a letter acknowledging your complaint, where necessary asking you to confirm or explain the details. You can expect to receive our letter within 3 working days of receiving your complaint.

2. Mr Hosenbux will conduct a thorough investigation, which will normally involve examining your file and speaking with the person in the firm who acted for you. He will do this within 10 working days.

3. If you would like to discuss and hopefully resolve your complaint with Mr Hosenbux following his investigation, we will arrange a telephone or video call within 3 working days of your request. Within 2 working days of speaking with you Mr Hosenbux will write to you to confirm what took place and any solutions he has agreed with you.

4. If you do not wish to speak with Mr Hosenbux, he will send you a detailed written response to your complaint, including suggestions for resolving the matter.

5. At this stage, if you remain dissatisfied, you can let us know. We will arrange for the firm’s Head of Compliance, Mr Noel de Speville, to review the decision. This process is likely to take 10 days.

6. We will let you know the result of this review within 2 working days of its conclusion. At this stage Mr Hosenbux will write to you confirming the firm’s final position on your complaint (taking into account Mr de Speville’s report).

What to do if we have not been able to resolve your complaint

If you are still not satisfied with the firm’s decision at the conclusion of the complaint’s procedure:

a. You may refer the matter to the Legal Ombudsman. They will look at your complaint independently and it will not affect how we handle your case.
Before accepting a complaint for investigation, the Legal Ombudsman will check that you have tried to resolve your complaint with us first. If you have, then you must take your complaint to the Legal Ombudsman:
• Within six months of receiving a final response to your complaint, and
• No more than six years from the date of act/omission; or
• No more than three years from when you should reasonably have known there was cause for complaint.
If you would like more information about the Legal Ombudsman, you can contact them by:
Call: 0300 555 0333 between 9am to 5pm.
Email: enquiries@legalombudsman.org.uk
Post: Legal Ombudsman PO Box 6806, Wolverhampton, WV1 9WJ
Website: www.legalombudsman.org.uk

b. We will write to you with details of an alternative dispute resolution approved body which would be competent to deal with the complaint, and we will advise you whether we agree to use the scheme operated by that body.

The Solicitors Regulation Authority can also help you if you are concerned about our behaviour. This could be for things like dishonesty, taking or losing your money or treating you unfairly because of your age, a disability or other characteristic. You can raise your concerns with the Solicitors Regulation Authority.

PENNINE KENNEDY

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